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OGP - Geophysical HSE Audits
OGP - Geophysical HSE Audits
E&P Forum
Guidelines for HSE Auditing in the Geophysical Industry
Report No. 6.53/245
September 1996
E&P Forum, 2528 Old Burlington Street, London W1X 1LB
Telephone: 44-(0)171-437 6291 Fax: 44-(0)171-434 3721
IAGC (International Association of Geophysical Contractors)
P.O. Box 460209, Houston, TX 77056 - 0209, USA
Telephone: 1-713 850 7981 Fax 1-713 850 7984
IAGC (EAME Secretariat), 4 St James Road, St Johns Hill,
Sevenoaks, Kent TN13 3NH, UK
Telephone: 44-(0)1732-743025 Fax: 44-(0)1732-740623
Authors
This report has been developed for E&P Forum in collaboration with
members of the IAGC by the Forums Safety Health and Personnel
Competence Committee (SHAPCC) through a specially convened Task
Force of the Seismic Safety Sub Committee.
Mr. I. G. Jack
Mr. D. Bliss
Mr. M. Covil
Mr. T. J. Dujmovich
Mr. H. Hansen
Mr. T. Jackson
Mr. G. Reynolds
Mr. J. Howell
Mr. J. L. Teurlai
Mr. R. C. Thonger
BP, Chairman
PGS
IAGC
Conoco
Geco Prakla
BP
Western Geophysical
Western Geophysical
Shell
G.S.R
IAGC
Disclaimer
Whilst every effort has been made to ensure the accuracy of the information contained in this publication, neither the E&P Forum nor IAGC nor
any of their members will assume liability for any use made thereof.
CONTENTS
SCOPE
Scope of audit
Audit content
The Auditee
Lead Auditor
Auditors
AUDIT PROCESS
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11
Onsite activities
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Post-audit activities
12
Audit reports
Follow-up and closure of actions
REFERENCE DOCUMENTS
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12
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BACKGROUND TO GEOPHYSICAL
HSE AUDITS
Audits help to protect the interests and well-being of employees, customers, visitors and local communities.
Audits are a normal part of business control (see the E&P Forum
Guidelines for the Development and Application of Health, Safety and
Environmental Management Systems (HSE-MS), Report No. 6.36/210,
section 7). They provide assurance to management that the Health,
Safety and Environmental (HSE) risks of a particular operation are well
controlled and managed, and that the operation is being executed competently, in accordance with license conditions and relevant legislation.
They evaluate the effectiveness of the implementation of an HSE management system.
Current practice as to type, content, purpose and frequency of audits is
highly variable throughout the industry. There are statutory compliance
audits, management system audits, quality and safety audits, operational
(static and dynamic) audits, sub-contractor audits, etc. Typically, contractors perform a minimum of one internal audit per year on each major
operation. However, some contractors never conduct audits at all.
Likewise, some clients audit each operation, while others audit none.
There have been cases of vessels having been audited more than once
on one day, by different clients.
Audits are conducted against the HSE management systems of the auditee, and as required by regulatory bodies or as called for in E&P Forum
schedules/guidelines.
Currently, audit results or reports do not easily cross company boundaries.
In this document, the word client is taken to mean the oil company or
operator, thus retaining its common usage in the geophysical industry.
Audits are commissioned by clients, contractors and sub-contractors.
Expectations
In order to assure the quality of audits, it is expected that they will include
elements of assurance external to the operation being audited.
It is an expectation that an HSE-effective operation is a cost-effective operation, and that audits should help to encourage personnel to be more HSE
conscious, through a learning process.
The resources committed to the audit should be sufficient to meet its
intended scope.
Clients may wish to verify the contractors audit process, for example by
conducting an occasional audit themselves, as part of their own HSE management system.
Objectives
SCOPE
SCOPE
This HSE audit guideline is applicable to all geophysical operations worldwide. The scope of an audit will normally be determined by the commissioner of the audit in consultation with the Lead Auditor and the auditee,
taking into account the requirements of potential clients and the nature of
the operation. Any subsequent changes to the audit scope should be
agreed between the commissioner and the Lead Auditor. The scope and
any changes should be in writing.
Scope of audit
The scope should state the audit criteria, standards, rules, regulations and
work instructions or guidelines against which the audit findings will be
assessed.
Note that some operations will have peripheral units in different environments (e.g. a marine operation may have navigation base stations).
The content should be consistent with (but not necessarily limited to) the
E&P Forums existing Guidelines for the Development and Application of
HSE Management Systems. The executive summary from this document
is shown below.
HSE-MS Element
Audit content
Addressing
Leadership and
commitment
Policy and
strategic
objectives
Organisation,
resources and
documentation
Evaluation and
risk management
Planning
Implementation
and monitoring
Auditing and
reviewing
Thus a suggested list of topics to be covered by audits, and their applicability to management and/or operations, includes the following:
Content
Management
Operations
Management/leadership commitment
Planning
Management of change
Resource allocation
Asset integrity
Incident reporting
Incident follow-up
Operations
SCOPE
Content
Management
Operations
Metrics, statistics
Engineering
Regulatory compliance
Substance abuse
Aviation
Data management
Clients/contractors/sub-contractor
interfaces
HSE publicity
Public consultation
Training programmes
Communication
Competence
Personnel, training,
communications
The Auditee
Responsible for:
setting and implementing the audit strategy
defining the scope of the audit
defining its terms of reference including audit criteria
providing the necessary resources
assuring the competence of the Lead Auditor
defining a system for classification of audit findings
ensuring that the follow-up process is completed satisfactorily by
assisting the auditee where necessary.
Responsible for:
cooperating with the auditors to permit the audit objectives to be
achieved
informing employees about the objectives and scope of the audit as
necessary
providing the facilities needed for the audit team in order to ensure an
effective and efficient audit process
appointing responsible and competent staff to accompany members
of the audit team, to act as guides to the site and to ensure that
auditors are aware of health, safety, environment, and other
appropriate requirements
providing access to the audited facilities including personnel and
relevant evidential material, as requested by the auditors, and
assisting them generally
developing a corrective action plan that defines action steps and
responsibilities for all those findings listed in the final audit report, that
are accepted by the auditee; the timeliness and completion of
corrective actions from previous audits should be reviewed during
subsequent location reviews.
The Lead Auditor is responsible for ensuring the efficient and effective
conduct and completion of the audit within the scope of the audit plan.
Lead Auditor
The Lead Auditor should have sufficient seniority and relevant experience
to provide credibility and authoritative weight to the audit findings and recommendations. He or she should be trained and have experience in carrying out HSE audits. Such training may be provided by the auditors own
organisation, or by an external organisation.
Auditors
To ensure the objectivity of the audit process and its findings or conclusion, the lead auditor should be independent of the activities to be
audited. The audit team should be objective and free from bias and conflict of interest throughout the process, although the team may include
representative(s) from the activity being audited.
The use of an external or internal Lead Auditor is at the discretion of the
commissioner. A lead auditor chosen from within the organisation should
not be accountable to those directly responsible for the subject matter
being audited.
The team should collectively:
understand the purpose of audits
know the policies and principles being audited
understand the output of audit and expectations
possess a generic understanding of the facility or operation being
audited.
Thus, in selecting the audit team members, consideration should be given
to the following:
the number of auditors in the team
appropriate qualifications, experience and expertise
the type of organisation, activity or function being audited
the language skills of the auditors, and/or the availability of suitable
interpreters for the full amount of time required
any potential conflict of interest between the auditee and the auditors
competence in clearly and fluently expressing concepts and ideas,
orally and in writing
interpersonal skills conducive to the effective and efficient
performance of the audit, such as diplomacy, tact and the ability to
listen
skills of personal organisation necessary for the effective and efficient
performance of the audit
ability to analyse data and categorise results
ability to reach sound judgements based on objective evidence.
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AUDIT PROCESS
AUDIT PROCESS
To conduct audits efficiently, certain information must be obtained and
reviewed by the auditors prior to the audit, or made readily available for
review during the audit. Typical information includes:
organisation charts
contractual documents
HSE staffingtheir qualifications and responsibilities
current list of hazardous materials
maps of the survey area, as appropriate
copies of HSE policies and procedures
regulatory permits, licenses and compliance inspection reports
previous inspection/audit reports
follow-up documentation to the above
incident reports and follow-up
training record and status
relevant local regulations relating to geophysical activities
environmental impact assessment
hazard register
Each audit should commence with an opening meeting with location management, location HSE staff and the audit team to:
reaffirm the scope and objectives
reaffirm the agenda and audit plans
obtain information on special topics to include or sensitive areas of
which to be aware
reaffirm the schedule for the closing meeting.
Onsite activities
The audit will be directed by the Lead Auditor, and will focus on management systems and compliance. Typical audit activities include:
location walk-through; inspection of equipment and activities covered
by the scope of the audit
document/records review
reviewing location HSE performance statistics (injuries, illnesses,
incidents, etc.)
reviewing the locations HSE inspection and auditing programme
reviewing the environmental impact assessment
reviewing policies, procedures and required records
interviewing management, quality control and technical staff
interviewing HSE staff and area personnel
assessing implementation of training plans
documenting and categorising findings each day
analysing findings and preparing list of key findings and
recommendations or draft report for use at the final meeting.
Each audit should end with a closing meeting involving the audit team,
location management and location HSE staff to:
review the audit findings and recommendations
confirm, following consultation with the commissioner, a schedule and
distribution for the audit report and location response to findings and
recommendations.
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Post-audit activities
Audit reports
The Lead Auditor is responsible for timely completion and issuance of the
audit reports to the commissioner, who is responsible for its distribution
to the appropriate people. Typical report contents include:
introductionlocation, business, dates, audit leader, team members
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REFERENCE DOCUMENTS
REFERENCE DOCUMENTS
IAGC. Land Geophysical Operations Safety Manual, 1991
IAGC. Marine Geophysical Operations Safety Manual, 1991
IAGC. Environmental Guidelines for World-wide Geophysical Operations,
1994
E&P Forum/IUCN. Oil and Gas Exploration and Production Operations in
Mangrove AreasGuidelines for Environmental Protection, Report
No. 2.54/184, 1993
E&P Forum/IUCN. Oil and Gas Exploration and Production in Arctic and
Subarctic Onshore RegionsGuidelines for Environmental Protection,
Report No. 2.55/185, 1993
E&P Forum. Oil Industry Operating Guideline for Tropical Rainforests,
Report No. 2.49/170, 1991
E&P Forum. Exploration & Production Waste Management Guidelines,
Report No. 2.58/196, 1993
E&P Forum. Health Management Guidelines for Remote Land-Based
Geophysical Operations, Report No. 6.30/190, 1993
E&P Forum. Standards for Local Medical Support, Report No. 6.44/222,
1995
E&P Forum. Health Assessment of Fitness, Report No. 6.46/228, 1995
E&P Forum. Health, Safety and Environmental Schedules for Marine
Geophysical Operations, Report No. 6.34/206, 1994
E&P Forum. Health, Safety and Environmental Schedules for Land
Geophysical Operations, Report No. 6.35/207, 1995
E&P Forum. HSE Training Guidelines for Seismic Personnel, Report No.
6.27/183, 1993
E&P Forum. Checklist for an Audit of Safety Management. Report No.
6.15/160, 1989
E&P Forum. Safety Auditing: Strategy and Uses for the E&P Industry,
Report No. 6.13/149, 1989
E&P Forum. Guidelines for the Development and Application of Health,
Safety and Environmental Management Systems, Report No. 6.36/210,
1994
IAGC/E&P Forum. Generic Hazards Register for Geophysical Operations.
Report No. 6.40/214, 1994 (revised January 1996)
Individual company and contractor manuals.
IAGC/E&P Forum. Glossary of HSE Terms, Report No. 6.52/244, 1996
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